Tag: investment fund fraud

The U.S. Chamber of Commerce published a report containing a series of recommendations regarding the SEC’s Enforcement program. Several recommendations focused on the use of administrative proceedings, including one which would permit a Respondent seeking a jury trial to essentially …

This Week In Securities Litigation (Week ending July 17, 2015) Read More »

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The Ninth Circuit upheld a conviction for illegal tipping, following Dirks but raising doubt regarding its adherence to Newman in an opinion authored by Judge Rakoff, sitting by designation. The Commission filed settled proceedings against Goldman Sachs and KKR for, …

This Week In Securities Litigation (Two weeks ending July 10 , 2015) Read More »

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